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Featured Investigations


Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers


Firms We Have Pursued for Clients








Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC
Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Robert Rex, Esq.

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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  • Robert Rex, Esq.

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Robert Rex, Esq.

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Kevin Hobbs formerly with PFS Investments
Rex Securities Law Investment Fraud Attorney Investigates Kevin Hobbs formerly with PFS Investments 150 150 ER

Last Updated:  September 2023 (Lake Worth, FLA) Kevin Hobbs Investigation Summary Here’s what you need to know about Lake Worth, Florida ,  stockbroker Kevin Hobbs: Name:  Mr. Kevin A. Hobbs…

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  • ER

Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY
Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY 150 150 ER

Joseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose 2 regulatory matters,…

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  • ER

Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA
Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA 150 150 ER

Gina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services,  discloses…

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  • Robert Rex, Esq.

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN
Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Robert Rex, Esq.

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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  • Robert Rex, Esq.

Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX
Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX 150 150 Robert Rex, Esq.

Fraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…

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  • ER

Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA
Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA 150 150 ER

Heath Goldstein Investigation   April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein,  a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…

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  • ER

Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA
Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of   Robert D’Agosta, an IBN Financial Services, Inc. broker,  disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…

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  • Robert Rex, Esq.

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA
John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Robert Rex, Esq.

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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